Broker-Dealer definition

Broker-Dealer. Any broker or dealer registered under the Exchange Act.
Broker-Dealer means any broker or dealer registered as such under the Exchange Act.

Examples of Broker-Dealer in a sentence

  • You may not sell the Company’s securities products if such an agreement is not in force between the Company and Your Broker-Dealer, or if you are not a registered representative of, and in good standing with, Your Broker Dealer.

  • Further, the instructions will identify the Asset Manager and the Affiliated Broker-Dealer and will provide the address of the Asset Manager.

  • Otherwise, you must look to Your Broker-Dealer, and not to the Company, for any commission that may be payable to you for selling the Company’s securities Products.

  • Should the Asset Manager or theAffiliated Broker-Dealer refuse to disclose information on the basis that such information is exempt from disclosure, pursuant to Section II(s)(2) above, the Asset Manager shall, by the close of the thirtieth (30th) day following the request, provide a written notice advising that person of the reasons for the refusal and that the Department may request such information.

  • The instructions will state that this exemption may be unavailable, unless the fiduciary of each plan participating in the covered transactions as an investor in a Pooled Fund is, in fact, independent of the Asset Manager and the Affiliated Broker-Dealer.


More Definitions of Broker-Dealer

Broker-Dealer means any broker or dealer registered with the Commission under the Exchange Act.
Broker-Dealer means any broker-dealer, or other entity permitted by law to perform the functions required of a Broker-Dealer in paragraph 10 of these Articles Supplementary, that has been selected by the Corporation and has entered into a Broker-Dealer Agreement with the Auction Agent that remains effective.
Broker-Dealer means any broker-dealer, commercial bank or other entity permitted by law to perform the functions required of a Broker-Dealer in Part II of this Statement, that is a member of, or a participant in, the Securities Depository or is an affiliate of such member or participant, has been selected by the Fund and has entered into a Broker-Dealer Agreement that remains effective.
Broker-Dealer means any broker or dealer registered under the Exchange Act.
Broker-Dealer means a person engaged in the business of effecting transactions in securities for the account of others or for the person's own account. The term does not include: